|
|
Some Firms Unaware of Privacy Compliance Deadline
Some broker-dealers, investment advisors and other entities may not be prepared to be in compliance with the Title V privacy provisions of the Gramm-Leach-Bliley Act by the July 1st deadline.
The SEC already has commented that, during the course of routine examinations being conducted now, it has found that some firms have taken no steps to comply and apparently are unaware of the new provisions and/or the approaching deadline.
Source: BD Week, May 14, 2001
|
About Us
|
News
|
Alerts
|
Articles
|
Caveat Emptor
|
SNSFE News
|
Contact
|
Search
Register
|
Free Opinion
Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.
20 North Wacker Drive, Suite 2900, Chicago, Illinois 60606
Telephone: 312-621-4400 | Fax: 312-621-0268
|
|
|
|
